Alfred D. Carroll

CANNOLES ASSET MANAGEMENT

Dalworthington Gardens, TX 76016-5866

Some features on this profile are disabled

CRD#: 5103003

Professional summary

Alfred David Carroll JR, who also goes by Alfred David Carroll, is a registered financial advisor currently at CANNOLES ASSET MANAGEMENT, INC. located in Dalworthington Gardens, Texas.

Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Alfred has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alfred David Carroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SINCE APRIL 2013, I'VE BEEN EMPLOYED AS A CERTIFIED PUBLIC ACCOUNTANT WITH AL CARROLL CPA, PLLC PRIMARILY IN THE TAXATION AREA. THE FIRM IS LOCATED at AT 1281 W Green Oak Blvd, Suite 123 Arlington, TX 76013. I CURRENTLY WORK AN AVERAGE OF 100 HOURS A MONTH AT THIS JOB AND I HAVE FLEXIBILITY TO MEET WITH FINANCIAL PLANNING AND INVESTMENT ADVISORY CLIENTS AT MY DISCRETION. ALSO, I HAVE ACCESS TO THE INTERNET DURING THE SECURITY TRADING HOURS AND CAN MAKE TRADES WHENEVER IT IS NEEDED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred David Carroll JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 1, 2014 - Present

CANNOLES ASSET MANAGEMENT, INC.

Office #1: 2309 Roosevelt Drive Suite A, Dalworthington Gardens, TX 76016-5866

RIA

CRD#: 120828

Dalworthington Gardens, TX

Past

March 28, 2006 - August 26, 2014

ADC FINANCIAL GROUP LLC

RIA

CRD#: 139803

ARLINGTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/1/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

CANNOLES ASSET MANAGEMENT, INC.

CRD#: 120828 / SEC#:

Texas

Registered Investment Advisory firm - (8/14/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2309 Roosevelt Drive Suite A, Dalworthington Gardens, TX 76016-5866

Mailing Address

Phone number

(817) 350-6507

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 5,218,778

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

James Moore

EDWARD JONES

IAR

Ft Worth, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alfred D. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred David Carroll JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANNOLES ASSET MANAGEMENT, INC.

ADC FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Current Firm

CANNOLES ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CANNOLES ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors